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Filing Details

Accession Number:: 0001615774-17-001995
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-05-01 18:00:14
Reporting Period:: 2017-04-28

Filing Date:: 2017-05-01
Accepted Time:: 2017-05-01 18:00:14
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1504167	Biopharmx Corp	BPMX	Pharmaceutical Preparations (2834)	593843182

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1618788	Vivo Capital Fund Viii, L.p.	505 Hamilton Avenue, Suite 207 Palo Alto CA 94301		No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2017-04-28	1,282,052	$0.78	14,096,338	No	4	P	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	See Footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Common Stock Warrant (right to buy)	Acquisiton	2017-04-28	641,026	$0.00	641,026	$0.90

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
641,026		2022-10-28	No	4	P	Indirect

Footnotes

These shares are owned directly by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., which are the record owners of these shares. Vivo Capital VIII, LLC is the general partner of both Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. and may be deemed to beneficially own such shares. The voting members of Vivo Capital VIII, LLC are Frank Kung, Albert Cha, Edgar Engleman, Chen Yu, and Shan Fu, none of whom has individual voting or investment power with respect to these shares and each of whom disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
These warrants will be exercisable at any time on or after October 28, 2017, provided that the warrant holder(s) will be prohibited from exercising this warrant, if after giving effect to such exercise, the holder(s) (together with such holder(s)'s affiliates and any other persons acting as a group together) would beneficially own in excess of 19.99% of the shares of common stock of the Issuer outstanding immediately after giving effect to such exercise. These warrants will expire on October 28, 2022.
These warrants are granted to Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., which are the record owners of these warrants. Vivo Capital VIII, LLC is the general partner of both Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. and may be deemed to beneficially own such warrants. The voting members of Vivo Capital VIII, LLC are Frank Kung, Albert Cha, Edgar Engleman, Chen Yu, and Shan Fu, none of whom has individual voting or investment power with respect to these warrants and each of whom disclaims beneficial ownership of such warrants except to the extent of his pecuniary interest therein.